Phillip J. Susi

TCP ASSET MANAGEMENT

UPPER ARLINGTON, OH 43220

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CRD#: 5109197

Professional summary

Phillip Joseph Susi, who also goes by Phillip Susi, is a registered financial advisor currently at TCP ASSET MANAGEMENT, LLC located in Upper Arlington, Ohio and UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Palm Springs, California.

Phillip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Phillip has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Phillip Susi

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1.) TCP ASSET MANAGEMENT - EXECUTIVE VICE PRESIDENT, PARTNER - REGISTERED INVESTMENT ADVISOR - COLUMBUS, OH - SINCE 11/2016 - INVESTMENT RELATED 2.) PHILIP J. SUSI INDEPENDENT INSURANCE - LICENSED AGENT - NON-VARIABLE INSURANCE - COLUMBUS, OH - SINCE 10/2005 - INVESTMENT RELATED 3.) PPBJ LLC - PARTNER - REAL ESTATE SALES/RENTAL PROPERTIES/PROPERTY MANAGEMENT - PHOENIX, AZ - SINCE 01/2021 - INVESTMENT RELATED 4.) TCP ASSET MANAGEMENT - EXECUTIVE VICE PRESIDENT, PARTNER - DBA NAME FOR MARKETING PURPOSES ONLY - COLUMBUS, OH - SINCE 11/2016 - INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phillip Joseph Susi's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 19, 2017 - Present

TCP ASSET MANAGEMENT, LLC

Office #1: 5000 Horizons Drive, Upper Arlington, OH 43220

RIA

CRD#: 286037

UPPER ARLINGTON, OH

Current

December 7, 2016 - Present

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Office #1: 500 South Palm Canyon Dr. Ste. 204, Palm Springs, CA 92264Office #2: 5000 Horizons Drive, Upper Arlington, OH 43220

RIA

CRD#: 20804

Palm Springs, CA

Past

October 30, 2014 - January 13, 2017

TRENDENCY CAPITAL MANAGEMENT, LLC

RIA

CRD#: 159431

COLUMBUS, OH

Past

October 30, 2014 - October 28, 2016

SECURITIES AMERICA, INC.

CRD#: 10205

BEXLEY, OH

Past

August 12, 2013 - October 20, 2014

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

CINCINNATI, OH

Past

August 12, 2013 - October 20, 2014

OPPENHEIMER & CO. INC.

CRD#: 249

CINCINNATI, OH

Past

July 5, 2011 - August 12, 2013

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

WORTHINGTON, OH

Past

January 9, 2009 - August 12, 2013

INVEST FINANCIAL CORPORATION

CRD#: 12984

WORTHINGTON, OH

Past

August 14, 2008 - February 6, 2009

FSC SECURITIES CORPORATION

CRD#: 7461

WORTHINGTON, OH

Past

June 13, 2008 - July 28, 2008

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

LANCASTER, OH

Past

August 24, 2007 - July 28, 2008

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

LANCASTER, OH

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TCP ASSET MANAGEMENT, LLC

TCP ASSET MANAGEMENT, LLC | TRENDENCY CAPITAL PARTNERS, LLC

CRD#: 286037 / SEC#: 801-108836

RIA

Registered Investment Advisory firm - (1/3/2017 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(12/7/2016)

Arizona
(3/27/2017)

California
(3/28/2017)

Colorado
(8/25/2025)

Florida
(12/7/2016)

Georgia
(12/7/2016)

Illinois
(12/7/2016)

Indiana
(12/7/2016)

Kentucky
(12/7/2016)

Maryland
(3/7/2017)

Michigan
(4/26/2017)

Minnesota
(8/11/2022)

Mississippi
(4/24/2017)

New Mexico
(10/12/2017)

New York
(4/21/2017)

North Carolina
(12/7/2016)

Ohio
(12/7/2016)

IAR

Ohio
(1/19/2017)

Oregon
(10/18/2017)

South Carolina
(9/25/2020)

South Dakota
(8/25/2025)

Texas
(3/30/2017)

IAR

Texas
(8/4/2020)

Washington
(11/13/2017)

Wisconsin
(8/26/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/1/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/23/2007

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

TCP ASSET MANAGEMENT, LLC

TCP ASSET MANAGEMENT, LLC | TRENDENCY CAPITAL PARTNERS, LLC

CRD#: 286037 / SEC#: 801-108836

RIA

Registered Investment Advisory firm - (1/3/2017 Approved)

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Contact information

Main Address

5000 Horizons Drive, Upper Arlington, OH 43220

Mailing Address

Phone number

(614) 761-9378

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (29 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TCP ASSET MANAGMENT, LLC FIRM BROCHURE (10/10/2025)

Regulatory assets under management

Total Number of Accounts	3,930
AUM (Assets Under Management)	$ 822,130,691

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Phillip J. Susi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phillip Joseph Susi's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

TRENDENCY CAPITAL MANAGEMENT, LLC

SECURITIES AMERICA, INC.

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

FSC SECURITIES CORPORATION

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

TCP ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/1/2011

SIE

Date: 10/1/2018

Series 7

Date: 8/23/2007

FINRA

Current Firm

TCP ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (29 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TCP ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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